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GEORGE DANIEL DOUGHERTY III
GEORGE D DOUGHERTY III
CRD#: 4193502
IA
B
VOYA FINANCIAL ADVISORS, INC.CRD#: 2882 6225 SHERIDAN DRIVE
SUITE 212
WILLIAMSVILLE, NY 14221
SUITE 212
WILLIAMSVILLE, NY 14221
0
Disclosures
24
Years of Experience
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State Registrations
B
Arizona 1/3/2019
B
Michigan 4/18/2011
B
California 1/8/2018
B
New Hampshire 10/8/2024
B
Florida 10/19/2011
B
New York 1/3/2011
B
Georgia 9/11/2019
IA
New York 5/13/2021
B
Kentucky 3/2/2023
B
Oregon 6/30/2023
B
Maine 1/3/2017
B
South Carolina 12/3/2024
B
Maryland 11/27/2024
B
Tennessee 2/16/2021
B
Massachusetts 1/2/2015
B
Wisconsin 6/10/2015
SRO Registrations
B
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IA
Registered with this firm since 1/3/2011
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Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/27/2009 - 01/03/2011 | ROCHESTER, NY | |
B | 07/27/2009 - 01/03/2011 | WINDSOR, CT | |
IA | 09/10/2002 - 07/30/2009 | LATHAM, NY | |
B | 10/18/2001 - 07/30/2009 | LATHAM, NY | |
B | 10/18/2001 - 12/31/2001 | HOUSTON, TX | |
B | 04/24/2001 - 04/25/2001 | BALTIMORE, MD | |
B | 08/04/2000 - 04/06/2001 | PURCHASE, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.